Cowen and Company (Asia) Limited 高宏亞洲投資有限公司
SFC licenses
C=licensed corporation (regulated by SFC), R=Registered Institution (regulated by HKMA). If there is no starting date then the entity has been in that activity since at least 1-Apr-2003 when the current register began.
C/R | Activity | From | Until |
---|---|---|---|
C | Advising on corporate finance | 2003-12-19 | 2015-11-27 |
C | Advising on securities | 2015-11-27 | |
C | Dealing in futures contracts | 2019-05-17 | 2024-03-26 |
C | Dealing in securities | 2011-07-08 | 2015-11-27 | C | 2019-05-17 | 2024-03-26 |
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